Evans Law, PC · SEC · FINRA · State and federal courts
Entity formation, governance and acquisitions. Offerings and the regulation around them. Arbitration and litigation when a matter is disputed. For companies, issuers, broker-dealers and advisers.
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Joint ventures, operating and partnership agreements, and every phase of the business cycle.
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All aspects, including alternative investments across asset classes.
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Companies, issuers, underwriters and funds in private placements, financings and joint ventures.
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Founded by a former chief executive and chief compliance officer of a FINRA member firm.
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Retail, private fund and dual registrants under the Advisers Act of 1940.
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Why Evans Law
Over twenty years of legal practice, built on thirty years in and around the securities industry — securities arbitration and litigation, regulatory investigations, and the transactions underneath them — with an understanding of the challenges and objectives faced by broker-dealers, issuers, representatives and investment advisers.
A former president, chief executive and chief compliance officer of a FINRA member firm, taken through FINRA’s new member application under Rule 1014, and general counsel and chief operating officer to securities issuers, including an Inc. 500 oil and gas company that managed or operated over $300 million of oil and gas assets.
A joint law and business degree with a tax LL.M. on top — because the tax consequence is usually the real answer to an entity or offering question.
Insight
On August 18, 2026, the Securities and Exchange Commission proposed a set of rules titled Regulation Crypto Assets, which would create a tailored…
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FINRA has filed a proposed rule change with the Securities and Exchange Commission that would amend FINRA Rule 4522 to except uncertificated…
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The Securities and Exchange Commission has published for comment FINRA’s proposed amendments to the Codes of Arbitration Procedure governing how…
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